Roger A. Graham

BRAINTRUST CAPITAL

San Antonio, TX 78257

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CRD#: 5942837

Professional summary

Roger Ainsworth Graham, CIMA® is a registered financial advisor currently at BRAINTRUST CAPITAL, LLC located in San Antonio, Texas.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Roger has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Ainsworth Graham's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 12, 2022 - Present

BRAINTRUST CAPITAL, LLC

Office #1: 17806 Ih 10 West Suite 300, San Antonio, TX 78257

RIA

CRD#: 319510

San Antonio, TX

Past

June 14, 2019 - March 21, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN ANTONIO, TX

Past

June 14, 2019 - March 21, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN ANTONIO, TX

Past

September 19, 2014 - June 26, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN ANTONIO, TX

Past

September 19, 2014 - June 26, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN ANTONIO, TX

Past

September 5, 2011 - October 15, 2014

MORGAN STANLEY

RIA

CRD#: 149777

SAN ANTONIO, TX

Past

August 8, 2011 - October 15, 2014

MORGAN STANLEY

CRD#: 149777

SAN ANTONIO, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(4/12/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/2/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/6/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/13/2011

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/4/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/6/2024

General Securities Principal Examination

Current Firm

BRAINTRUST CAPITAL, LLC

CRD#: 319510 / SEC#: 801-123683

RIA

Registered Investment Advisory firm - (10/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/6/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

17806 Ih 10 West Suite 300, San Antonio, TX 78257

Mailing Address

Phone number

(210) 819-7425

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	106
AUM (Assets Under Management)	$ 94,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Roger A. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Ainsworth Graham's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/2011

Series 7TO

Date: 3/6/2024

SIE

Date: 10/1/2018

Series 31

Date: 10/13/2011

Series 7

Date: 8/4/2011

Series 24

Date: 3/6/2024

Current Firm

BRAINTRUST CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BRAINTRUST CAPITAL, LLC

TRUST BUT VERIFY

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